Financial Industry Regulatory Authority (FINRA) BrokerCheck reveals disclosures about securities broker John Christoforidis (CRD: 2841315, Garden City, New York). Christoforidis previously worked for multiple brokerage firms, including Spartan Capital Securities LLC from 2016 to 2024. Recent regulatory actions disclose that FINRA has barred Christoforidis from the securities industry following his refusal to provide on-the-record testimony […]

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Kyung H. Song [CRD: 2760764, East Hills, New York], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Song worked for MML Investors Services LLC from March 25, 2017, to November 27, 2023. Continue reading to […]

Soreide Law Group is looking into possible investor claims against securities broker David Shane Simmons (CRD: 4655479, Jefferson, North Carolina). Particularly, FINRA sanctioned the securities broker, who worked for Lincoln Financial Advisors Corporation. Allegedly, Simmons failed to cooperate with FINRA when the regulator investigated him for potentially violating FINRA rules. Here is a brief summary […]

Soreide Law Group is investigating possible investor claims against securities broker Jeremy Fortner AKA Jeremy W. Fortner [CRD#: 4811478, Beverly Hills, CA]. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Wells Fargo Advisors. Evidently, investors allege sales practice violations in these disputes, […]

Soreide Law Group is investigating possible investor claims against securities broker Allyson Jo Trantum [CRD#: 2896970, Temecula, CA]. Trantum has worked for J.W. Cole Advisors Inc. from 2018-Present and LPL Financial LLC from 2016-2018. Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that a J.W. Cole Financial client disputed Trantum’s sales practices and that LPL […]